VIVUS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-02-20: Reporting owner ROSENMAN HERM; Form 4; Security Non-Qualified Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-02-20: Reporting owner Plutzky Jorge MD; Form 4; Security Non-Qualified Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-02-20: Reporting owner Norton David Y; Form 4; Security Non-Qualified Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-02-20: Reporting owner KING THOMAS BRAXTON; Form 4; Security Non-Qualified Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-02-20 | ROSENMAN HERM Director | 4 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $2.41 exercise price | 2020-02-24 | |
| 2020-02-20 | Plutzky Jorge MD Director | 4 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $2.41 exercise price | 2020-02-24 | |
| 2020-02-20 | Norton David Y Director | 4 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $2.41 exercise price | 2020-02-24 | |
| 2020-02-20 | KING THOMAS BRAXTON Director | 4 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $2.41 exercise price | 2020-02-24 | |
| 2020-02-20 | KANGAS EDWARD A Director | 4 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $2.41 exercise price | 2020-02-24 | |
| 2020-02-20 | Ferrell Karen E. Director | 4 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $2.41 exercise price | 2020-02-24 | |
| 2020-01-29 | Amos John P. Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +137,500 137,500 owned after | $2.21 exercise price | 2020-01-31 | |
| 2020-01-29 | Oki Mark K Officer (Chief Financial Officer & CAO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,000 32,000 owned after | $2.21 exercise price | 2020-01-31 | |
| 2020-01-29 | Slebir John L Officer (SVP, Business Development & GC) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,000 32,000 owned after | $2.21 exercise price | 2020-01-31 | |
| 2020-01-29 | Varghese Santosh T Officer (Chief Medical Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,000 32,000 owned after | $2.21 exercise price | 2020-01-31 |